Statement of Changes in Beneficial Ownership (4)
June 02 2021 - 12:31PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
VASOS TODD J |
2. Issuer Name and Ticker or Trading Symbol
DOLLAR GENERAL CORP
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DG
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Executive Officer |
(Last)
(First)
(Middle)
100 MISSION RIDGE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/28/2021 |
(Street)
GOODLETTSVILLE, TN 37072
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 5/28/2021 | | M | | 58682 | A | $76 | 268760 | D | |
Common Stock | 5/28/2021 | | M | | 35000 | A | $84.67 | 303760 | D | |
Common Stock | 5/28/2021 | | M | | 161512 | A | $70.68 | 465272 | D | |
Common Stock | 5/28/2021 | | S | | 160956 | D | $202.9043 (1) | 304316 | D | |
Common Stock | 5/28/2021 | | S | | 65875 | D | $203.6192 (2) | 238441 | D | |
Common Stock | 5/28/2021 | | S | | 25763 | D | $204.6241 (3) | 212678 | D | |
Common Stock | 5/28/2021 | | S | | 2600 | D | $205.3256 (4) | 210078 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Employee Stock Option (Right to Buy) | $76 | 5/28/2021 | | M | | | 58682 | 6/3/2020 | 6/3/2025 | Common Stock | 58682 | $0 | 0 | D | |
Employee Stock Option (Right to Buy) | $84.67 | 5/28/2021 | | M | | | 35000 | (5) | 3/16/2026 | Common Stock | 35000 | $0 | 69599 (6) | D | |
Employee Stock Option (Right to Buy) | $70.68 | 5/28/2021 | | M | | | 161512 | (7) | 3/22/2027 | Common Stock | 161512 | $0 | 0 | D | |
Explanation of Responses: |
(1) | The reported price is a weighted average price. These shares were sold in multiple transactions ranging from $202.27 to $203.265, inclusive. The reporting person undertakes to provide Dollar General Corporation, any security holder of Dollar General Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4. |
(2) | The reported price is a weighted average price. These shares were sold in multiple transactions ranging from $203.27 to $204.265, inclusive. The reporting person undertakes to provide Dollar General Corporation, any security holder of Dollar General Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4. |
(3) | The reported price is a weighted average price. These shares were sold in multiple transactions ranging from $204.27 to $205.195, inclusive. The reporting person undertakes to provide Dollar General Corporation, any security holder of Dollar General Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4. |
(4) | The reported price is a weighted average price. These shares were sold in multiple transactions ranging from $205.2792 to $205.3427, inclusive. The reporting person undertakes to provide Dollar General Corporation, any security holder of Dollar General Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4. |
(5) | The option vested as to 14,902 shares on April 1, 2017 and 20,098 shares on April 1, 2018. |
(6) | The number of securities in Row 2 of Column 9 represents 9,801 options vested on April 1, 2018, 29,899 options vested on April 1, 2019 and 29,899 options vested on April 1, 2020. |
(7) | The option vested as to 40,378 shares on each of April 1, 2018, April 1, 2019, April 1, 2020 and April 1, 2021. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
VASOS TODD J 100 MISSION RIDGE GOODLETTSVILLE, TN 37072 | X |
| Chief Executive Officer |
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Signatures
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/s/ Christine L. Connolly, Attorney-in-Fact | | 6/2/2021 |
**Signature of Reporting Person | Date |
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